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First Trust Utilities AlphaDEX Fund

54 hedge funds and large institutions have $521M invested in First Trust Utilities AlphaDEX Fund in 2014 Q2 according to their latest regulatory filings, with 28 funds opening new positions, 17 increasing their positions, 8 reducing their positions, and 3 closing their positions.

New
Increased
Maintained
Reduced
Closed

833% more first-time investments, than exits

New positions opened: 28 | Existing positions closed: 3

450% more capital invested

Capital invested by funds: $94.7M → $521M (+$426M)

113% more repeat investments, than reductions

Existing positions increased: 17 | Existing positions reduced: 8

80% more funds holding

Funds holding: 3054 (+24)

22.52% more ownership

Funds ownership: 67.6%90.12% (+23%)

22% less call options, than puts

Call options by funds: $439K | Put options by funds: $563K

Holders
54
Holders Change
+24
Holders Change %
+80%
% of All Funds
1.55%
Holding in Top 10
2
Holding in Top 10 Change
+2
Holding in Top 10 Change %
% of All Funds
0.06%
New
28
Increased
17
Reduced
8
Closed
3
Calls
$439K
Puts
$563K
Net Calls
-$124K
Net Calls Change
-$124K
Name Holding Trade Value Shares
Change
Change in
Stake
FSIM
1
F-Squared Investment Management
Massachusetts
$223M +$213M +9,345,123 New
Bank of America
2
Bank of America
North Carolina
$88.9M +$21.9M +957,326 +35%
BTS
3
BB&T Securities
Virginia
$40.6M +$3.89M +170,321 New
PPA
4
Parametric Portfolio Associates
Washington
$30.4M +$29.2M +1,276,596 New
Morgan Stanley
5
Morgan Stanley
New York
$23.1M +$14.8M +646,708 +202%
BFA
6
Beaumont Financial Advisors
Massachusetts
$22.8M +$21.8M +956,818 New
Wells Fargo
7
Wells Fargo
California
$22.2M +$15.8M +693,125 +291%
NCM
8
Niemann Capital Management
Nevada
$14.8M +$14.2M +621,808 New
PI
9
Placemark Investments
Illinois
$9.84M +$9.42M +412,506 New
Envestnet Asset Management
10
Envestnet Asset Management
Illinois
$9.06M +$8.24M +360,755 +1,911%
U
11
UBS
Switzerland
$4.71M -$265K -11,599 -6%
AIM
12
Astor Investment Management
Illinois
$4.22M +$3.71M +162,414 +1,123%
SAM
13
SignalPoint Asset Management
Missouri
$2.55M -$47.1K -2,061 -2%
LPL Financial
14
LPL Financial
California
$2.3M +$1.04M +45,418 +89%
UCFA
15
United Capital Financial Advisors
Texas
$2.14M +$2.05M +89,704 New
RIA
16
Regal Investment Advisors
Michigan
$1.65M +$1.51M +66,063 +2,286%
VKH
17
Virtu KCG Holdings
New York
$1.49M +$1.43M +62,502 New
Goldman Sachs
18
Goldman Sachs
New York
$1.45M -$894K -39,169 -39%
SAM
19
Shamrock Asset Management
Texas
$1.35M +$1.29M +56,539 New
NFG
20
Noven Financial Group
Colorado
$1.34M +$1.28M +56,213 New
BRWM
21
B. Riley Wealth Management
Tennessee
$1.28M +$1.23M +53,698 New
CS
22
Credit Suisse
Switzerland
$1.07M +$60.3K +2,641 +6%
PFS
23
Prospera Financial Services
Texas
$916K +$877K +38,392 New
Royal Bank of Canada
24
Royal Bank of Canada
Ontario, Canada
$887K +$268K +11,723 +46%
PAG
25
Private Advisor Group
New Jersey
$881K -$116K -5,058 -12%

FXU Hedge Fund Activity: Q2 2014 in Review

54 of the 3,479 institutional investors tracked by Wall St. Rank reported a position in First Trust Utilities AlphaDEX Fund (FXU) for Q2 2014, worth a combined $521M — up 450% from $94.7M a quarter earlier.

Buyers outnumbered sellers: 28 funds opened new FXU positions and 3 closed out — a net gain of 25 holders — while 17 added to existing stakes and 8 trimmed.

The largest buyer was F-Squared Investment Management, opening a new position worth an estimated $213M. The largest seller was Stifel Financial, exiting entirely with an estimated $3.03M sold.

  • 54 institutional investors held First Trust Utilities AlphaDEX Fund (FXU) as of Q2 2014, up from 30 in Q1 2014.
  • Funds reported $521M of First Trust Utilities AlphaDEX Fund stock for Q2 2014, up 450% quarter-over-quarter.
  • 28 funds opened new First Trust Utilities AlphaDEX Fund positions in Q2 2014 and 3 closed out, a net change of +25 holders.
  • The largest First Trust Utilities AlphaDEX Fund buyer in Q2 2014 was F-Squared Investment Management, an estimated $213M added.
  • The largest First Trust Utilities AlphaDEX Fund seller in Q2 2014 was Stifel Financial, an estimated $3.03M sold.

Based on aggregated 13F filings for Q2 2014.